Joseph E. Schnetzka

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CRD#: 1002483

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Joseph Edward Schnetzka was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1981. Joseph had worked at 9 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 2, 2009 - December 31, 2011

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

DOVER, PA

Past

January 2, 2009 - September 2, 2015

J.W. COLE FINANCIAL, INC.

CRD#: 124583

DOVER, PA

Past

February 12, 2008 - December 31, 2008

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

DOVER, PA

Past

April 13, 2005 - December 31, 2008

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

DOVER, PA

Past

December 16, 2001 - April 1, 2005

PAN-AMERICAN FINANCIAL ADVISERS

CRD#: 15578

NEW ORLEANS, LA

Past

January 22, 1996 - December 16, 2001

AMERICAN CAPITAL CORPORATION

CRD#: 16124

VALLEY FORGE, PA

Past

January 14, 1994 - December 31, 1995

ALLEGHENY INVESTMENTS, LTD.

CRD#: 7597

PITTSBURGH, PA

Past

September 26, 1989 - December 31, 1993

AMERICAN CAPITAL CORPORATION

CRD#: 16124

VALLEY FORGE, PA

Past

May 17, 1988 - May 16, 1989

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

Past

May 17, 1988 - May 16, 1989

PRUCO SECURITIES, LLC.

CRD#: 5685

Past

April 16, 1987 - April 26, 1988

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

February 18, 1982 - May 16, 1989

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

November 20, 1981 - May 16, 1989

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA

Registered Investment Advisory firm - (11/23/2001 Approved)

Arizona

Registered Investment Advisory firm - (12/4/2001 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2001 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/23/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/2/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/13/1981

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 1/5/2001

Investment Company Products/Variable Contracts Principal Examination

Current Firm

J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA

Registered Investment Advisory firm - (11/23/2001 Approved)

Arizona

Registered Investment Advisory firm - (12/4/2001 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2001 Terminated)

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Contact information

Main Address

4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634

Mailing Address

Phone number

(813) 935-6776

Established

Firm type

Fiscal year end

# of Employees

512

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM (3/28/2025)

JWCA 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	29,614
AUM (Assets Under Management)	$ 7,195,237,282

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Joseph E. Schnetzka

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

PAN-AMERICAN FINANCIAL ADVISERS

AMERICAN CAPITAL CORPORATION

ALLEGHENY INVESTMENTS, LTD.

AMERICAN CAPITAL CORPORATION

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

LOCUST STREET SECURITIES, INC.

PRUCO SECURITIES, LLC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/23/1982

SIE

Date: 9/2/2015

Series 6

Date: 11/13/1981

Series 26

Date: 1/5/2001

Current Firm

J. W. COLE ADVISORS, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

J. W. COLE ADVISORS, INC.

TRUST BUT VERIFY

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